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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
01/12/2015 JC/2015/079 2015 list of identified Financial Conglomerates Joint Committee, MiFID - Investor Protection Reference PDF
146.29 KB
28/09/2015 2015/1469 2015-1469- Investment Firms briefing MiFID - Secondary Markets, Press Releases Reference PDF
314.38 KB
28/09/2015 2015/1470 2015-1470- Non-financials briefing MiFID - Secondary Markets, Press Releases Reference PDF
307.12 KB
28/09/2015 2015-ESMA-1464 Annex I 2015-ESMA-1464 Annex I- draft RTS and ITS on MiFID II and MiFIR MiFID - Secondary Markets Technical Standards PDF
2.85 MB
19/12/2016 2016/1673 2016-1673 Q&A on MiFID II commodity derivatives topics MiFID - Secondary Markets Q&A PDF
338.93 KB
09/02/2016 2016/272AF 2016_mdsc_cwg_application_form MiFID - Secondary Markets Reference DOCX
40.48 KB
18/02/2015 2015/319 Addendum Consultation Paper- MiFID II/MiFIR MiFID - Secondary Markets Consultation Paper PDF
2.78 MB		 The European Securities and Markets Authority (ESMA) has published today a consultation paper (CP) which complements the transparency section of the CP on MiFID II/MiFIR published on 19 December 2014. This CP covers the following non-equity asset classes: foreign exchange derivatives; credit derivatives; other derivatives; and contracts for difference (CFDs). For each asset class two sections are provided: the first presents the analysis on the definition of a liquid market and the second includes the calculations on the pre-trade and post-trade transparency large in scale (LIS) and size specific to the instrument (SSTI) thresholds. The last section of the CP completes draft RTS 9 (Transparency requirements in respect of bonds, structured finance products, emission allowances and derivatives) published in Annex B of the CP on MiFID II/MiFIR on 19 December 2014, where rules and tables were included for bonds, structured finance products, emission allowances and derivatives not covered in this more recent analysis. This CP should be read in conjunction with ESMA’s CP on MiFID II/MiFIR and the related Annex B published on 19 December 2014. This consultation runs until 20 March 2015. ESMA will use the input received to finalise its draft RTS which will be sent for endorsement to the European Commission in mid-2015. MiFID II/ MiFIR and its implementing measures will be applicable from 3 January 2017.
26/03/2018 ESMA35-43-1000 Additional information on the agreed product intervention measures relating to contracts for differences and binary options MiFID - Investor Protection Reference PDF
202.01 KB
09/01/2019 ESMA50-157-1391 Advice on Initial Coin Offerings and Crypto-Assets Innovation and Products Report PDF
882.48 KB
18/12/2014 2014/1560 Advice- Investment-based crowdfunding Innovation and Products Final Report PDF
482.2 KB		 Crowdfunding is a means of raising finance for projects from ‘the crowd’ often by means of an internet-based platform through which project owners ‘pitch’ their idea to potential backers, who are typically not professional investors.  It takes many forms, not all of which involve the potential for a financial return.  ESMA’s focus is on crowdfunding which involves investment, as distinct from donation, non-monetary reward or loan agreement.Crowdfunding is relatively young and business models are evolving. EU financial services rules were not designed with the industry in mind.  Within investment-based crowdfunding a range of different operational structures are used so it is not straightforward to map crowdfunding platforms’ activities to those regulated under EU legislation. Member States and NCAs have been working out how to treat crowdfunding, with some dealing with issues case-by-case, some seeking to clarify how crowdfunding fits into existing rules and others introducing specific requirements.To assist NCAs and market participants, and to promote regulatory and supervisory convergence, ESMA has assessed typical investment-based crowdfunding business models and how they could evolve, risks typically involved for project owners, investors and the platforms themselves and the likely components of an appropriate regulatory regime. ESMA then prepared a detailed analysis of how the typical business models map across to the existing EU legislation, set out in sections 1 to 6 of this document.
01/10/2013 2013/606 DA Aflønningspolitik og-praksis (MiFID) Guidelines and Technical standards, MiFID - Investor Protection Guidelines & Recommendations PDF
357.25 KB
27/02/2018 ESMA71-319-70 Afore Consulting’s Second Annual FinTech and Digitalisation Conference: Regulation at the European Level and Beyond – Stanhope Hotel Brussels Innovation and Products, Speeches Speech PDF
168.3 KB
07/03/2017 FI17 Agenda Financial Innovation Day 2017 Innovation and Products Reference PDF
598.1 KB
07/01/2016 2015/1914 Agenda for ESMA FI Day Innovation and Products Reference PDF
170.52 KB
04/10/2019 ESMA70-156-1555 Alignment of MiFIR with the changes introduced by EMIR Refit MiFID - Secondary Markets, Post Trading Consultation Paper PDF
270.97 KB
02/10/2017 ESMA71-99-608 Annex (Template for the Assessment of Collective Suitability) Guidelines and Technical standards, MiFID - Investor Protection Reference XLSX
72.7 KB
31/10/2016 2016/1529 ANNEX Annex I- Template for the assessment of collective suitability Guidelines and Technical standards, MiFID - Investor Protection Reference XLSX
54.43 KB
28/09/2015 2015-ESMA-1464 Annex II Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR MiFID - Secondary Markets Final Report PDF
5.07 MB
23/12/2015 2015/1911 Annex III- Draft ISO 20022 message specification MiFID - Secondary Markets Reference ZIP
1.13 MB
19/12/2014 2014/1569 Annex Annex to Technical Advice on MiFID II and MiFIR- investor protection topics MiFID - Investor Protection Reference PDF
962.39 KB

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